_nist/sp-800-53/au/au-01 · always-coding.co.uk

id: "AU-01" title: "Policy and Procedures" family: "AU" family_name: "Audit and Accountability" sort_id: "au-01" priority: "P2" implementation_level: "organization"

Develop, document, and disseminate to {{ insert: param, au-1_prm_1 }}:

{{ insert: param, au-01_odp.03 }} audit and accountability policy that:

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;

Designate an {{ insert: param, au-01_odp.04 }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and

Review and update the current audit and accountability:

Policy {{ insert: param, au-01_odp.05 }} and following {{ insert: param, au-01_odp.06 }} ; and

Procedures {{ insert: param, au-01_odp.07 }} and following {{ insert: param, au-01_odp.08 }}.

Guidance

Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Assessment Objective: an audit and accountability policy is developed and documented;

Assessment Objective: the audit and accountability policy is disseminated to {{ insert: param, au-01_odp.01 }};

Assessment Objective: audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented;

Assessment Objective: the audit and accountability procedures are disseminated to {{ insert: param, au-01_odp.02 }};

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses purpose;

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses scope;

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses roles;

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses responsibilities;

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses management commitment;

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses coordination among organizational entities;

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses compliance;

Assessment Objective: the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

Assessment Objective: the {{ insert: param, au-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;

Assessment Objective: the current audit and accountability policy is reviewed and updated {{ insert: param, au-01_odp.05 }};

Assessment Objective: the current audit and accountability policy is reviewed and updated following {{ insert: param, au-01_odp.06 }};

Assessment Objective: the current audit and accountability procedures are reviewed and updated {{ insert: param, au-01_odp.07 }};

Assessment Objective: the current audit and accountability procedures are reviewed and updated following {{ insert: param, au-01_odp.08 }}.

Audit and accountability policy and procedures

system security plan

privacy plan